James J. Wallander
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Joseph Wallander, who also goes by Jim Wallander, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 15 firms and has passed the Series 65, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - January 14, 2014
SIA-SUMMIT INVESTMENT ADVISORS
May 7, 2010 - January 4, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 3, 2010 - April 9, 2010
CETERA ADVISORS LLC
February 23, 2005 - July 1, 2009
EQUITABLE DISTRIBUTORS, LLC
June 29, 2004 - February 25, 2005
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 11, 2003 - June 8, 2004
DWS DISTRIBUTORS, INC.
May 21, 2003 - November 6, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 21, 2003 - November 6, 2003
OSAIC FA, INC.
March 12, 2003 - May 9, 2003
INSTITUTIONAL SECURITIES CORPORATION
May 6, 1999 - February 20, 2003
DWS DISTRIBUTORS, INC.
July 10, 1991 - February 14, 1996
FEDERATED SECURITIES CORP.
June 19, 1990 - May 10, 1991
A. G. EDWARDS & SONS, INC.
August 2, 1988 - August 5, 1989
A. G. EDWARDS & SONS, INC.
September 30, 1987 - August 9, 1988
MUTUAL SERVICE CORPORATION
September 10, 1986 - March 1, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 18, 1984 - March 21, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 1984 - October 2, 1984
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SIA-SUMMIT INVESTMENT ADVISORS
CRD#: 150607 / SEC#: 802-132635
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 3/31/2025 |
| Texas | ERA - Active | 5/1/2014 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
